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Investment Adviser Firm Summary

SWBC INVESTMENT COMPANY (CRD# 140994 / SEC# 801-68054)
Alternate Names: A+ FINANCIAL CENTER , AF FINANCIAL SERVICES , AGGIELAND INVESTMENT CENTER , ARNOLD ASSET MANAGEMENT , AUSTIN TELCO INVESTMENT SERVICES , BEACON , BEACON INVESTMENT SERVICES , CHOCOLATE BAYOU COMMUNITY , CHOCOLATE BAYOU INVESTMENT CENTER , CITY & POLICE INVESTMENT SERVICES , COASTLINE INVESTMENT SERVICES , EVOLVE FINANCIAL SERVICES , FEDCHOICE INVESTMENT SERVICES , FIRST COMMUNITY FINANCIAL SERVICES , FIRST MARK , FLORIDA CREDIT UNION INVESTMENT SERVICES , GE FINANCIAL SERVICES , GREATER TEXAS INVESTMENT SERVICES , GULF COAST EDUCATORS INVESTMENT CENTER , INVESTEX , INVESTMENT CENTER , JAX METRO FINANCIAL SERVICES , JEFFERSON FINANCIAL INVESTMENT SERVICES , LAFCU- INVESTMENT SERVICES AVAILABLE AT LAFCU , LOUISIANA INVESTMENT SERVICES , MEMBERS CHOICE INVESTMENT SERVICES , NORTHSTAR INVESTMENT CENTER , PLUS 4 INVESTMENT SERVICES , RIVER CITY INVESTMENT CENTER , SCU INVESTMENT SERVICES , SOUTHWEST RESEARCH CENTER INVESTMENT SERVICES , SWBC INVESTMENT COMPANY , TEXAS FIRST INVESTMENT CENTER , TEXAS PARTNERS INVESTMENT CENTER , UNITED SA FINANCIAL SERVICES , US POSTAL SERVICE INVESTMENT CENTER , UTILITIES EMPLOYEES INVESTMENT SERVICES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/25/2007
Florida Approved 05/23/2018
Texas Terminated 06/29/2007

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arkansas 03/31/2011
California 03/31/2009
Florida 06/21/2016
Louisiana 06/25/2007
Maryland 03/31/2009
Minnesota 03/31/2009
North Carolina 08/08/2017
South Carolina 08/08/2017
Texas 06/25/2007

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser